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As IT Compliance Lead, you will manage, coordinate and participate in activities including but not limited to; IT Controls, IT Compliance Program, ServiceNow Governance, Risk & Compliance Business, Regulatory Impact Assessments.
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Our advisor-led wealth managementbusinesses provide financial planning, investment management, banking and comprehensive advice to a wide range of clients, including ultra-high net worth and high net worth individuals, as well as family offices, foundations and endowments, and corporations and their employees.
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They are targeting the mass affluent, high net worth, and ultra-high net worth clientele. They are looking for someone that already has an established COI network in the Tampa market that is experienced with cultivating relationships and can leverage those relationships as well as the companies existing referrals sources by selling investment and trust services to individuals and families with complex or sensitive financial situations.
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Our clients are enterprises as diverse as sophisticated financial institutions and start-ups, global public firms, and middle-market companies, as well as high net worth individuals, family offices, not-for-profit organizations, and entrepreneurial ventures across a variety of industries.
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As the Director of Diversity Equity and Inclusion (DE&I), you will work with our teams to increase opportunities for Minority and Women Business Enterprises (MWBE's). Review current processes and policies to determine if they support diversity and inclusion work.
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The Private Client Relationship Manager, along with a Private Client Financial Advisor or High Net Worth Wealth Advisor, and Certified Financial Planners, create the Citizens Private Client team.
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As a Private Client Relationship Manager, you will be responsible for acquiring, broadening, deepening and retaining affluent and high-net-worth relationships.
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Partner closely with Compliance, Legal, Risk and Control partners, as well as regulatory affairs, proactively identifying and mitigating risks and addressing issues with urgency; interact with regulators; potentially serve as President of SoFi broker/dealer and Wealth RIA.
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Humana's Associate Vice President (AVP), Technology and Cybersecurity Risk works closely with all areas of Enterprise Information Protection (EIP), Internal Audit, Enterprise Risk Management, business units, regulatory agencies, and industry groups to ensure the company's technology and cybersecurity risks are effectively managed and compliance objectives are achieved.
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Strittmatter Wealth Management Group, LLC (SWMG) is a boutique Registered Investment Advisor located in downtown Fort Worth, TX. We have been in business since 2007 and specialize in retirement planning, investment management and business planning to high net worth clients and business owners.
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The ideal candidate would have experience working with ultra high net-worth/HNW individuals in estate planning, trust administration and probate matters. Work directly with high-net worth individuals to advise on all trust and estate planning matters for both irrevocable and revocable trusts.
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Deloitte Risk and Financial Advisory's Financial Services Industry (FSI) Risk, Data and Regulatory professionals help organizations identify the regulatory changes impacting their business and implement effective and efficient processes to manage regulatory, capital, liquidity and interest rate risks, respond to evolving regulatory environments and implement programs, measures, and tools to help clients with a specific focus on risk, data, and regulatory processes.
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B. Riley operates through several subsidiaries that offer a diverse range of complementary end-to-end capabilities spanning investment banking and institutional brokerage, private wealth and investment management, financial consulting, corporate restructuring, operations management, risk and compliance, due diligence, forensic accounting, litigation support, appraisal and valuation, auction, and liquidation services.
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Your responsibilities will span regulatory compliance, financial crime compliance (FCC), corporate governance, enterprise risk management, internal controls and internal audit.
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Trade management, analytics, reporting, and data governance, Reconciliation, Data Management, Treasury, Regulatory Solution, EOD Reporting Why is This a Great Opportunity: Company is continuing to experience tremendous growth Strong tech & managed services solutions -front, middle, backoffice I hired the head of sales approx 4 years ago and he would be great to work with.
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equity and inclusion regulatory compliance risk high net worth financial services wilkes barre jobs Title: manager Company: Wells Fargo in Lahaina, Hawaii
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